STANDARD GRANT PROVISIONS
STATE INDEPENDENT LIVING CENTERS
STATE AND SOCIAL SECURITY REIMBURSEMENT (SSR) GRANTS
February 2014
1.
DEFINITION OF TERMS
Pursuant to the authority of the Rehabilitation Act of 1973, as Amended in
1986 (Public Law 99-506) and as amended in 1992, and to the authority of
the California State Plan for Vocational Rehabilitation and California
Welfare and Institutions Code, Division 10, Part 1, Chapter 1, Section
19800 et seq., and Part 2, Chapter 8, Section 19800 et seq., the following
definitions shall be used for the purposes of this grant.
A.
Non-Profit Grantee
A public or private not-for-profit organization operating a program for
the primary purpose of assisting persons with disabilities in achieving
social and economic independence by providing core services in the
areas of (1) peer counseling, (2) advocacy, (3) attendant referral, (4)
housing assistance, and (5) independent living skills training, (6)
other services and referrals as may be deemed necessary such as
transportation, job development, equipment maintenance and
evaluation, training in independent living skills, mobility assistance
and communication assistance.
B.
Establishment of an Independent Living Center
State to provide funding to maintain the services provided by existing
independent living centers and, where feasible, encourages the
establishment of new centers that provide services to persons with
disabilities.
C.
Eligible Grantees
California Codes: Welfare and Institutions Code Section 19801
An independent living center shall: (a) be a private, nonprofit
organization controlled by a board of directors. A majority of the
board shall be comprised of individuals with disabilities. (b) Be staffed
by persons trained to assist persons with disabilities in achieving
social and economic independence. The staff shall include as large a
proportion as is practicable of individuals with disabilities. (c) Provide,
but not be limited to, the following services to individuals with
disabilities: (1) Peer counseling. (2) Advocacy. (3) Attendant referral.
(4) Housing assistance. (5) Information and referral. (d) Provide other
services and referrals as may be deemed necessary, such as
transportation, job development, equipment maintenance and
evaluation, training in independent living skills, mobility assistance,
assistive technology, and communication assistance. Assistive
technology may include information and outreach about appropriate
assistive technology devices or services and referrals that will enable
individuals to gain access to assistive technology in order to meet
their needs and expand options for independence and productivity.
Assistive technology activities shall involve collaboration with the
Department of Rehabilitation and the nonprofit contractor selected to
implement the federal Assistive Technology Act of 1998 (P.L. 105394), which shall serve as the framework for offering assistance to
individuals with disabilities. (e) Promote and practice the independent
living philosophy of: (1) Consumer control of the center regarding
decision-making, service delivery, management, and establishment of
the policy and direction of the center. (2) Self-help and self-advocacy.
(3) Development of peer relationships and peer role models. (4)
Equal access of individuals with disabilities to society and to all
services, programs activities, resources, and facilities, whether public
or private and regardless of the funding source.
D.
Person with a Disability
A person with a disability means an individual whose ability to
function independently in family or community settings, or to engage
or to continue in employment, is limited by his/her physical or mental
disability; independent living services are required in order to enable
him/her to achieve a greater level of independence in functioning in
family, community, or engaging or continuing in employment.
2.
CONDITIONS OF GRANT ADMINISTRATION
A.
General Conditions
1.
This grant shall enable Grantee to develop, continue, or expand
in accordance with the program narrative, programs and
services, which may enable persons with disabilities to achieve
social and economic independence.
The grant funding is provided for programs and services within
the grantee's service catchment area as designated by the
State. Core services must be made available to persons in the
entire catchment area to the extent practicable. Centers are
required to serve any consumer who is present in the State.
2.
This grant shall not become effective until a fully-executed copy
signed by State and Grantee is given by the State to the
Grantee. Grantee's signature shall not be considered valid until
a certified copy of the Board Resolution authorizing the
representative to execute the grant and accept the grant
condition is placed on file with the State's Contract Officer.
3.
Notwithstanding terms to the contrary, no provision of this grant
shall be interpreted to authorize expenditures or
reimbursements for items not in conformance with appropriate
State guidelines, laws, or regulations.
4.
Appropriate expenditures shall be made by the Grantee in
accordance with the provisions of this grant for staff salaries
and benefits, for authorized operating expenses, and for the
acquisition of equipment. Expenditures not specifically
authorized shall not be reimbursed by the State.
5.
Grantee will comply with service and fiscal reporting
requirements established by the Department. AB204/SSR
grantees are required to submit the California Independent
Living Report quarterly on February 15, May 15, August 15, and
November 15 each year.
6.
Grantee will submit updated basic grant documents to ILATS
including Board approved organization chart, Board-approved
agency budget, and job descriptions. Grantees are required to
submit updated grant documents to ILATS within 30 days after
documents have been updated and approved by the Board.
7.
It is mutually agreed that if sufficient funds are not appropriated
for this program, this grant shall be invalid and have no further
force or effect. In this event, the State shall have no liability to
pay any funds whatsoever to the Grantee or to furnish any
other considerations under this grant and the Grantee shall not
be obligated to continue to perform under the provisions of this
grant.
B.
8.
Reasonable accommodations shall be provided by the Grantee
to qualified individuals with a disability to perform the essential
functions of a job.
9.
State reserves the right to terminate this Agreement upon thirty
(30) days prior written notice to grantee.
10.
Grantee may terminate this Agreement upon thirty (30) days
prior written notice to the Chief, Independent Living Section,
Department of Rehabilitation.
11.
Grantee agrees to abide by the terms and conditions of the
Grants Management Handbook for grants administered by the
Independent Living and Assistive Technology Section of the
Department of Rehabilitation and state and federal laws and
regulations applying to grants to Independent Living Centers.
Advance Payment, Billing, Reconciliation Plan
1.
When grant of $10,000 or more is awarded, the ILATS
calculates the maximum advance amount allowable, per month,
for it. The ILATS then forwards the maximum advance amount
information to the DOR Accounting Section and to the grantee.
The maximum advance amount per month will be 90% of 1/12th
of the total amount budgeted in the grant for the categories of
personnel and operating expenses (assuming a 12-month grant
period – otherwise prorated). Ten percent will be “held back”
until billings are reconciled, quarterly, against the advances
issued.
The ILATS, as appropriate, will adjust monthly advance
amounts when budget revisions, amendments, or other
monetary changes to the grant are made. The ILATS’
Resource Specialist may make adjustments to the advance
amount when of grant funds is noted. Adjustments may not
cause the monthly advance amount to exceed the maximum
allowable advance amount (90% of 1/12th of the total of the
personnel and operating budgets in the grant).
2.
Once each month, if an advance is desired, the grantee must
send a completed Grant Funds Advance Request form (DR
322), with original authorized signature, to the DOR
Independent Living and Assistive Technology Section.
Grantees may submit DR 322 forms to the ILATS one (1)
month plus one (1) week prior to the beginning of the month of
the advance (a request for an advance of funds for the month of
April, for example, may be submitted one (1) month plus one
(1) week prior to April 1). A separate DR 322 form must be
submitted for each grant specifying the amount of advance
funding requested for each month. The advance request
cannot exceed the monthly maximum as calculated by the
ILATS.
Note: Although advance request forms (DR 322) may be
submitted to the ILATS as described above, the ILATS can not
submit approved requests to DOR Accounting for processing
earlier than one (1) month prior to the month of the request
(requests for the month of April may be submitted to Accounting
no earlier than March 1, for example).
3.
The Independent Living and Assistive Technology Section’s
Staff Services Analyst will review the DR 322 and the Resource
Specialist will approve or disapprove it through written
communication. If approved, the forms will be forwarded to the
DOR Accounting Section to be scheduled, and sent to the State
Controller’s Office (SCO) for payment.
4.
The ILATS staff will reconcile, quarterly (after receipt of the
billings for the third, sixth, ninth, and twelfth months of the
grant, assuming a 12-month grant period), the invoices and
advances for the quarter.
 If a quarterly reconciliation reveals that the grantee’s
advances have exceeded the approvable billings submitted,
the Independent Living and Assistive Technology Section
will adjust the grantee’s next advance request (decrease the
amount requested on the DR 322) to reflect the
reconciliation’s outcome. Adjustments made by the
Independent Living and Assistive Technology Section will be
copied to the grantee.
 If the reconciliation reveals that the approvable billings
submitted for the quarter exceed the advances issued during
the quarter, the DOR Accounting Section will generate
payment of the difference.
5.
Grantees must bill for operating and personnel categories
monthly. Personnel, operating, and equipment billings are due
the last day of the month following the period they cover
(billings for the month of January are due by the end of
February).
6.
If a grantee fails to submit complete and correct personnel and
operating billings by the deadline (as outlined above), the
ILATS Staff Services Analyst will notify them of the delinquent
billings. A 15-day grace period will be granted during which the
advance request(s) will be held and not processed. If, after 15
days, the billings are still outstanding, the advance requests will
be returned and advances for grants to the grantee will be
suspended. Failure to “catch up” delinquent billings within 30
calendar days of the suspension of monthly advances may
result in an accounts receivable action by the DOR Accounting
Section to recover the outstanding advance balance.
Additionally, monthly advances will continue to be suspended
until billings and advance accounts are current and satisfied. If
the accounts receivable process becomes necessary, the DOR
Accounting Section will issue a 30-day notice for repayment of
the overpayment. If the grantee fails to make payment in 30
days, the amount owed DOR will be deducted from subsequent
grant or contract reimbursements.
7.
If advances have exceeded billings for the quarter and the grant
period has ended, the ILATS will send a demand for payment of
funds owed to the grantee. If no payment is made in 30 days,
the amount owed to DOR will be deducted from subsequent
advance requests or reimbursements.
8.
Reimbursement shall be made to grantee for authorized
expenditures. Final invoices for reimbursement under this
agreement shall be submitted no later than November 15 of
each calendar year.
9.
Advance Restrictions - Monthly advances will be subject to
the following restrictions:
a. Timely submission of yearly independent audits with Incentive
Funding Forms. Independent Audits and Incentive Funding
Forms are due, according to the Standard Grant Provisions, on
March 30 for Grantees with a fiscal year ending June 30 or
September 30, or on the May 15 for Grantees with a fiscal year
ending December 31.
b. Timely submission of reports. Reports are due to the ILATS
Section according to a specified timeline, to enable DOR staff
to meet the requirements for grant monitoring.
1. California Independent Living Reports from
Independent Living Centers are due quarterly on the
following schedule: February 15th, May 15th, August
15th, and November 15th.
c. Unprocessed advance requests and/or invoices will be held for
grantees whose audit and/or reports are not received by the
specified deadline or unresolved issues with billings. When the
accounting and reporting issues that resulted in an advance
suspension have been resolved satisfactorily, the Chief will
reinstate the advance payment privilege and will forward any
pending billings for processing.
C.
Reimbursement and Invoice Billing
1. All expenditures shall be reimbursed monthly, in arrears. All Budget
and Reimbursement Requests shall be submitted and prepared in
accordance with written instructions to be provided by State.
Reimbursement shall be made to Grantee for authorized
expenditures in the percentage specified in this grant based on cost
allocation.
2. Reimbursement shall be made to Grantee for authorized
expenditures.
 Final invoices for reimbursement under this agreement
shall be submitted no later than November 15 of each
calendar year.
D.
Notification
All Notices required by either party shall be in writing and sent by
mail, or personally delivered to the appropriate address. Mailing
addresses may be changed only by written notice to the DOR Grants
Manager.
E.
Staffing Requirements
Positions for grantees’ employees working under the terms of this
grant shall be specified in the "Personnel Budget and Reimbursement
Request", DR 339. No budgeted position shall be reimbursed prior to
the effective date of this grant.
F.
Operating Expenditures
Allowable operating expenditures to be paid under the terms of this
grant shall be itemized in the "Budget and Reimbursement Request",
DR 337. No reimbursements shall be made for costs prior to the
effective date of this grant.
G.
Travel
Grantee agrees that all travel expenses paid under this grant shall be
reimbursed at actual costs not to exceed the California Department of
Human Resources (CAL- HR) designated rates for non-represented
employees stated on their website.
Travel outside of the State of California, will be approved through an
out-of-state line item in the grant budget with a corresponding budget
narrative.
For travel reimbursements (if applicable), upon request from the
DOR, Grantee to provide purpose, destinations, dates of travel, proof
of actual receipts and payments for travel costs, i.e. lodging,
transportation/mileage, meal costs in support of travel expenditures
submitted.
H.
Equipment
For purposes of this agreement grantees are required to comply with
CFR 34 Part 74.34 and 74.35 regarding equipment and supplies,
unless the grantee's policies and procedures are more restrictive.
Major equipment is defined as a tangible, nonexpendable personal
property having a useful life of more than one year and an acquisition
cost of $5,000 or more per unit. Equipment records must be
maintained that include the description of the equipment, the serial
number or other identification number, the source of equipment, the
titleholder, the acquisition date, the cost of equipment, the location,
and condition of the equipment, and any ultimate disposition data
including the date of disposal and sale price of the equipment. A
physical inventory of equipment must be taken and the results
reconciled with the equipment records of DOR every two years.
Minor equipment is defined as a tangible, nonexpendable property
having a useful life of more than one year and an acquisition cost
below $5,000 or less per unit, shall be required by the grantee to
maintain its own minor equipment inventory and submit the inventory
to ILATS every two years and in the case of audit.
Examples of minor equipment may include, but are not limited to:
computers (including iPad), printers, copiers, servers, and etc.
1.
Title to all major equipment over $5,000 purchased under
the terms of this grant, shall vest with the grantee until such
time as grantee disposes of the equipment or is otherwise
relieved by the State from accountability for such
equipment.
2.
Bid Requirements: Grantees are required to use informal
competitive (phone quotes, fax quotes, and internet quotes,
etc) bidding procedures involving at least two bidders for
minor equipment with a unit cost or a grouping of similar items
for line items up to $5,000. Grantees are required to use
formal advertisement competitive bidding process for major
equipment costing $5,000 or more per unit.
Grantee/subgrantee should make every effort to purchase
from small or Disabled Veterans Business Enterprise
(SB/DVBE) firms when possible.
3.
I.
Disposition of Equipment: Grantees are required to contact
DOR for disposition of minor and major equipment. Under
no circumstances shall a piece of major equipment over
$5,000 purchased under the terms of this grant be disposed
of in any way without prior written authorization from the
State Department of Rehabilitation.
Procurement Standards/Bid Requirements
Grantees must comply with all procurement standards as defined in
CFR 34 Parts 74.40 through 74.48. Grantees are required to use
formal competitive bidding procedures for all consultants, contracts,
and for equipment with a unit cost (or cost for a group of similar
items) of $5,000 or more with at least two responsive bids, unless the
grantee's policies and procedures are more restrictive. Grantee shall
maintain all required procurement documentation readily available for
submission to DOR upon request.
J.
Use of Subgrantee(s)
1.
If the grantee desires to accomplish part of the services through
the use of one (1) or more subgrantees, the following conditions
must be met:
a. The grantee shall submit any subgrants to the State for
approval prior to starting any of the work;
b. The Agreement between the primary grantee and the
subgrantee must be in writing;
c. The grantee must include specific language which
establishes the rights of the auditors of the State to
examine the records of the subgrantee relative to the
services and materials provided under the Agreement;
and
d. Upon termination of any subgrant, the State shall be
notified immediately, in writing.
e. If subgrantees are utilized the grantee is required
comply with 2.H. Procurement Standards/Bid
Requirements as outlined in these provisions. The
grantee may pre-identify subgrantees and include in
their grant a description of each person or firm and the
work to be done by each subgrantee. If a subgrantee is
pre-identified in the grant, then no solicitation is
required.
2.
K.
Further, any subgrant in excess of $10,000 entered into as a
result of this Agreement shall contain all applicable provisions
stipulated in this Agreement. Subgrantees must comply with all
requirements contained in this agreement.
Potential Subgrantee(s)
Nothing contained in this Agreement or otherwise shall create any
contractual relation between the State and any subgrantee(s) and no
subgrantee shall relieve the primary Grantee of its responsibilities
and obligations hereunder. The Grantee agrees to be as fully
responsible to the State for the acts and omissions of its
subgrantee(s) and of persons directly employed or indirectly
employed by any of them as it is for the acts and omissions of
persons directly employed by the Grantee. The Grantee's obligation
to pay its subgrantee(s) is an independent obligation from the State’s
obligation to make payments to the primary Grantee. As a result, the
State shall have no obligation to pay or to enforce the payment of any
monies to any subgrantees.
L.
National Voter Registration Act
By signing this grant agreement, grantee agrees to implement the
provisions of the National Voter Registration Act (42 USC Section
1973gg), in accordance with the state's procedure for Implementing
the National Voter Registration Act and as the courts shall otherwise
direct.
M.
Audit and Review Requirements
1. General Requirements
a. The State shall have the right to conduct inspections,
reviews, and/or audits of the Grantee to determine
whether the services provided and the expenditures
invoiced by the Grantee were in compliance with this
grant and other applicable federal or state statutes and
regulations.
b. Grantee agrees that Department of Rehabilitation, State
Controller’s Office, Department of General Services,
Bureau of State Audits, Federal Department of Education
Auditors, or their designated representatives shall have
the right to review and to copy any records and
supporting documentation pertaining to the performance
of the grant, including but not limited to: accounting
records, consumer service records, records and
evaluations of individuals referred to the program, and
other supporting documentation that may be relevant to
the audit or investigation.
c. Grantee shall submit to the DOR such reports, accounts,
and records deemed necessary by the DOR to discharge
its obligation under State and Federal laws and
regulations, including the applicable 2 CFR Part 230
(OMB Cost Principles) and 34 CFR 74 (Administrative
Requirements).
d. Grantee agrees to allow access to such records during
normal business hours and to allow interviews of any
employees who might reasonably have information
related to such records.
e. Grantee agrees to maintain grant-related records for
possible audit or review for a minimum of three (3) years
after final payment, or until resolution of all issues which
may arise as a result of any litigation, claim, negotiation,
audit or any other action involving the records prior to
expiration of the three (3) year period, whichever is later.
2. Independent Audit Requirements
a. Grantees that expend cumulative federal awards of
$500,000 and over in a year shall follow the federal Single
Audit Act, as amended. This audit shall be conducted in
accordance with the Office of Management and Budget
Circular A-133 (Audits of States, Local Governments, and
Non-Profit Organizations).
b. Grantees that expend cumulative federal awards less
than $500,000 in a year shall follow the state California
Code of Regulations (CCR) Title 9, Section 7335 Auditing
Requirements.
c. The Grantee agrees to submit two (2) copies of the audit
report package, including any management letters. One
copy shall be sent to each of the following:
Audit Services
Department of Rehabilitation
721 Capitol Mall, 3rd Floor
Sacramento, CA 95814
Independent Living and Assistive Technology Section
Department of Rehabilitation
721 Capitol Mall, 4th Floor
Sacramento, CA 95814
d. Incentive Funding Forms are required to be submitted to
the Independent Living and Assistive Technology Section
as a part of yearly independent audits from Independent
Living Centers.
e. For Grantees with a fiscal year ending June 30 or
September 30, audits and Incentive Funding Forms are
due the following March 30. If audits are not received by
the specified deadline, unprocessed advance requests
and/or invoices submitted by the grantee will be held, and
will not be processed, until the audit is received.
f. For Grantees with a fiscal year ending December 31,
audits and Incentive Funding Forms are due the following
May 15. If audits are not received by the specified
deadline, unprocessed advance requests and/or invoices
submitted by the grantee will be held, and will not be
processed, until the audit is received.
g. The ILATS uses the two most recent audit and Incentive
Funding Forms in our file to compute the “Seymour”
incentive funding allocation for all ILCs. For any year an
audit and Incentive Funding Form is not received by
March 30 for grantees with fiscal years ending June 30 or
September 30, or by May 15 for grantees with a fiscal
year ending December 31, ILATS will count the ILCs
private contributions for match for that year as zero (0).
N.
Assistive Technology
The funding for assistive technology (AT) purposes has specific
requirements that the Grantee agrees to by signing this agreement.
The assistive technology required and optional services are specified
in the grant narrative outline included in this grant package.
Purchase of AT for individual consumers may not be reimbursed
under this grant.
O.
Rules and Regulations Subject to Imposed Revisions or Addition
The DOR reserves the right to provide addendum(s) to this
agreement by written notification to the grantee of imposed rules and
regulation revisions or additional Federal requirements that are
subject to funding and/or reporting requirements, and will be made in
reference and included as part of this agreement.
P.
False Claim Act
Grantee/subgrantee agrees that it shall promptly notify the State and
shall refer to an appropriate federal inspector general any credible
evidence that a principle, employee, agent, subgrantee, or any other
person has committed a false claim under the False Claims Act or
has committed a criminal or civil violation of laws pertaining to fraud,
conflict of interest, bribery, gratuity, or similar misconduct involving
federal funding.
Q.
State Indemnification
The Grantee agrees to indemnify, defend, and hold harmless the
State, its officers, agents, and employees from any and all claims and
losses accruing or resulting to any and all contractors,
subcontractors, subgrantees, materialmen, laborers and any other
person, firm or corporation furnishing or supplying work, services,
materials or supplies in connection with the performance of this grant
and from any and all claims and losses accruing or resulting to any
person, firm or corporation who may be injured or damaged by the
Grantee in the performance of this grant.
R.
Nondiscrimination Clause
During the performance of this grant agreement, grantee and its
subgrantees shall not unlawfully discriminate, harass or allow
harassment, against any employee or applicant for employment
because of sex, race, color, ancestry, religious creed, national origin,
disability (including HIV and AIDS), medical condition (cancer), age,
marital status, denial of family and medical care leave and denial of
pregnancy disability leave. Grantees and subgrantees shall insure
that the evaluation and treatment of their employees and applicants
for employment are free from such discrimination and harassment.
Grantees and subgrantees shall comply with the provisions of the
Fair Employment and Housing Act (Government Code, Section
12900 et seq.) and the applicable regulations promulgated there
under (California Code of Regulations, Title 2, Section 7285.0 et
seq.). The applicable regulations of the Fair Employment and
Housing Commission implementing Government Code, Section
12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the
California Code of Regulations are incorporated into this grant
agreement by reference and made a part hereof as if set forth in full.
Grantee and its subgrantees shall give written notice of their
obligations under this clause to labor organizations with which they
have a collective bargaining or other agreement.
The grantee shall include the nondiscrimination and compliance
provisions of this clause in all subcontracts to perform work under the
grant agreement.
S.
Americans With Disabilities Act (ADA)
By signing this grant agreement, Grantee agrees to comply with the
Americans With Disabilities Act (ADA) of 1990, 42 U.S.C. Section
12101 et seq., Section 504 of the Rehabilitation Act of 1973, 29
U.S.C. Section 794, and Government Code Section 11135 et seq.,
which prohibit discrimination on the basis of disability, as well as the
regulations which implement these statutes. Grantee specifically
understands and agrees that by entering into this agreement it is
obligated to comply with Title II of the ADA where the obligations
imposed by Title II are more stringent than the grantee’s obligations
otherwise would be under Title I or Title III of the ADA.
T.
Drug Free Work Place
By signing this grant agreement, the grantee hereby certifies under
penalty of perjury under the laws of the State of California that the
grantee will comply with the requirements of the Drug-Free
Workplace Act of 1990 (Government Code Section 8350 et seq.) and
will provide a drug-free workplace by taking the following actions, as
required by 41 U.S.C. § 701 et seq.:
1. Publish a statement notifying employees that unlawful
manufacture, distribution, dispensation, possession, or
use of a controlled substance is prohibited in the
grantee’s workplace and specifying actions to be taken
against employees for violation of such prohibition;
2. Establishing an ongoing drug-free awareness program to
inform employees about—
a. The dangers of drug abuse in the workplace;
b. The grantee’s policy of maintaining a drug-free
workplace;
c. Any available drug counseling, rehabilitation, and
employee assistance programs; and
d. The penalties that may be imposed upon
employees for drug abuse violations occurring in the
workplace;
3. Making it a requirement that each employee to be
engaged in the performance of the grant be given a copy
of the statement required by paragraph (1);
4. Notifying the employee in the statement required by
paragraph (1) that, as a condition of employment under
the grant, the employee will—
a. Abide by the terms of the statement; and
b. Notify the employer in writing of his or her conviction
for a violation of a criminal drug statute occurring in
the workplace no later than five calendar days after
such conviction;
5. Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (4)(b) from an
employee or otherwise receiving actual notice of such
conviction. Employers of convicted employees must
provide notice, including position title, to every grant
officer or other designee on whose grant activity the
convicted employee was working, unless the granting
agency has designated a central point for the receipt of
such notices. Notice shall include the identification
number(s) of each affected grant;
6. Taking one of the following actions, within 30 calendar
days of receiving notice under paragraph (4)(b), with
respect to any employee who is so convicted—
a. Taking appropriate personnel action against such
an employee, up to and including termination,
consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or
b. Requiring such employee to participate satisfactorily
in a drug abuse assistance or rehabilitation program
approved for such purposes by a Federal, State, or
local health, law enforcement, or other appropriate
agency;
7. Making a good faith effort to continue to maintain a drugfree workplace through implementation of paragraphs (1),
(2), (3), (4), (5), and (6).
Failure to comply with these requirements may result in suspension
of payments under the grant agreement or termination of the
agreement or both and the grantee may be ineligible for award of any
future state grants or contracts if the department determines that any
of the following has occurred: (1) the grantee has made false
certification, or (2) violates the certification by failing to carry out the
requirements as noted above.
U.
Lobbying
Grantee certifies to abide by the following regulations and
requirements:
1. Byrd Anti-Lobbying Amendment (45 CFR Section
2543.87). By signing this agreement, the grantee who is
awarded an agreement of $100,000 or more certifies that
it will not and has not used Federal appropriated funds to
pay any person or organization for influencing or
attempting to influence an officer or employee of any
agency, a member of Congress, officer or employee of
Congress, or an employee of a member of Congress in
connection with obtaining any Federal contract, grant, or
any other award covered by 31 U.S.C. 1352. Grantee
shall also disclose any lobbying with non-Federal funds
that takes place in connection with obtaining any Federal
award.
2. OMB Circular A-122 Cost Principles for Non-Profit
Organizations, Section 25. Lobbying:
Notwithstanding other provisions of this Circular, costs
associated with the following activities are unallowable:
a. Attempts to influence the outcomes of any Federal,
State, or local election, referendum, initiative, or
similar procedure, through in kind or cash
contributions, endorsements, publicity, or similar
activity;
b. Establishing, administering, contributing to, or
paying the expenses of a political party, campaign,
political action committee, or other organization
established for the purpose of influencing the
outcomes of elections;
c. Any attempt to influence: (i) The introduction of
Federal or State legislation; or (ii) the enactment or
modification of any pending Federal or State
legislation through communication with any member
or employee of the Congress or State legislature
(including efforts to influence State or local officials
to engage in similar lobbying activity), or with any
Government official or employee in connection with
a decision to sign or veto enrolled legislation;
d. Any attempt to influence: (i) The introduction of
Federal or State legislation; or (ii) the enactment or
modification of any pending Federal or State
legislation by preparing, distributing or using
publicity or propaganda, or by urging members of
the general public or any segment thereof to
contribute to or participate in any mass
demonstration, march, rally, fundraising drive,
lobbying campaign or letter writing or telephone
campaign; or
e. Legislative liaison activities, including attendance at
legislative sessions or committee hearings,
gathering information regarding legislation, and
analyzing the effect of legislation, when such
activities are carried on in support of or in knowing
preparation for an effort to engage in unallowable
lobbying.
V.
Reporting Requirements
Grantee will comply with consumer and fiscal reporting requirements
established by the Department.
Independent Living Centers who receive AB 204/SSR funding must
submit a California Independent Living Report to the Grants Manager
on a quarterly basis. The reports are aggregate in nature and are
due to the Grants Manager on February 15, May 15, August 15, and
November 15 of each year.
If Reports are not received by the specified due dates then advances
and/or invoices will be held until reports are submitted.
W.
Notification of Client Assistance Program
The grantee will notify individuals who seek or receive services from
the grantee of the center's internal grievance procedure and the
existence and availability of the Client Assistance Program (CAP) and
how to contact a CAP advocate.
X.
Multi-Year Grants
This grant is a 12-month grant that may be renewed for a maximum
of 2 additional years at the discretion of the Department of
Rehabilitation. After the 4th quarter’s reconciliation of billings, or 60
days after the end of each year’s funding period, all remaining funds
for that 12-month funding period will be disencumbered. Funds may
not be carried over into the next grant year. All policies and
regulations regarding the grant remain in effect.
Y.
Federal Standards and Assurances
Independent Living Centers are required to comply with the
Standards and provide Assurance of such compliance as indicated in
§725 (a), (b), (c) of the Rehabilitation Act of 1973, as amended. By
signing this grant agreement, Grantee certifies that the ILC is in
compliance with this Section. Grantees not in compliance with any
portion of §725 must provide an attachment to their grant narrative
outlining the steps that have been taken to come into compliance (i.e.
certification that an approved corrective action plan is in place and, in
cooperation with the DOR Resources Specialist, is actively being
carried out by Grantee).
Federal and State laws and regulations take precedence, except
where the grant agreement is more restrictive.
Principles and Standard for determining allowable costs,
including requirement for documenting personnel activity
chargeable to the agreement.
Grants awarded by the Department shall be subject to actual
costs for services rendered under this grant. Allowable costs
under this grant must meet the following general criteria:
 Be generally recognized and necessary for the operation
of the Contractor's organization
 Be reasonable for the performance of the agreement,
including acceptable sound business practices
 Be subject to the terms and conditions of the agreement
and approved DOR budgeted line items
 Not be used for general expenses required to carry out
other responsibilities of the Contractor, and
 Be properly documented and supported.
Federal and State laws and regulations take precedence, except
where the grant agreement is more restrictive. Documenting and
supporting the distribution of all costs, including the allocation of time
chargeable to the agreement, is required. The Grantee agrees to
comply with the OMB cost principle applicable to its organization
regarding documentation for the support of personnel activity
chargeable to the agreement. Copies of CFR 2 Part 230 are
available for download and review at www.ecfr.gov.
Z. Accounting Systems Requirements
Grantee must maintain an appropriate fund accounting system that
accurately accumulates and segregates reasonable, allocable, and
allowable costs in compliance with state and federal regulations, and
generally accepted accounting principles. The grantee's financial
management system shall provide for:
1. Accurate, current and complete disclosure of the financial
results of each federally funded project.
2. Records that identify adequately the source and
application of funds for federally funded activities.
3. Written procedures for determining the reasonableness,
allocable, and allowable costs in accordance with the
provisions of the applicable Federal cost principles and
the terms and conditions of the grant.
4. Accurate fund accounting records that track the revenues
received from funders/sources and the expenditures paid
to vendors for goods and services, and that are supported
by adequate source documentation.
Grantee shall submit to State such reports, accounts, and records as
deemed necessary by State to discharge its obligation under State
and Federal laws and regulations, including the applicable 34 Part 74
Uniform Administrative Requirements and the related 2 CFR Part 230
(formerly OMB Circular A-122).
AA. Return of Inappropriate Use of Funds
By signing this Agreement, the Grantee certifies that in the event of
AB 204/SSR funds used inappropriately, funds must be returned to
DOR.
BB. Software
Grantee certifies that it has appropriate systems and controls in place
to ensure that state funds will not be used in the performance of this
agreement for the acquisition, operation or maintenance of computer
software in violation of copyright laws.
3.
SPECIFIC LEGISLATION AFFECTING GRANT
All Grantees shall comply with the following statutes and regulations:
Subject: Discrimination on the basis of race, color, or national origin.
Statute: Title VI of the Civil Rights Act of 1964 (45 U.S.C. 2000 through
2000d-4). Regulation: 34 CFR part 100.
Subject: Discrimination on the basis of sex
Statute: Title IX of the Education Amendments of 1972 (20 U.S.C. 16811683). Regulations: 34 CFR part 106.
Subject: Discrimination on the basis of disability.
Statute: Section 504 of the Rehabilitation Act of 1973 (29U.S.C. 794).
Regulation: 34 CFR part 104.
Subject: Discrimination on the basis of age.
Statute: The Age Discrimination Act (42 U.S.C. 6101 et seq.). Regulation:
34 CFR part 110.
As applicable, Grantees shall comply with:
Executive Order 11246 - "Equal Employment Opportunity" as amended by
Executive Order 11375 and as supplemented in Department of Labor
regulations (41 CFR, Part 60)
Copeland "Anti-Kick-Back Act" (18 U.S.C. 874) as supplemented in
Department of Labor regulations (29 CFR, Part 3)
Davis-Bacon Act (40 U.S.C. 27a to a-7) as supplemented by Department of
Labor regulations (29 CFR, Part 5)
Contract Work Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and
Department of Labor supplementing regulation (29 CFR, Parts 5 and 1926)
Clean Air and Water Acts as amended (42 U.S.C. 1856 et seq.) and the
Federal Water Pollution Control Act as amended (33 U.S.C. 1251 et seq.)
Grantee shall report to the State all suspected or reported violations of the
above regulations. Copies of these documents are on file at the Grantor's
Resource Specialist's office and may be inspected at any time.
4. Conflict of Interest
A. Grantee/Subgrantee certifies that its employees and the
officers of its governing body shall avoid any actual or
potential conflicts of interest and that no officer or employee
who exercises any functions or responsibilities in connection
with this Agreement shall have any personal financial
interest or benefit which either directly or indirectly arises
from this Agreement.
B. Grantee/Subgrantee shall establish safeguards to prohibit its
employees or its officers from using their positions for a
purpose which could result in private gain or which gives the
appearance of being motivated for private gain for
themselves or others, particularly those with whom they
have family, business, or other ties.
5. Confidentiality
A. Grantee/Subgrantee agrees that any report or material
created during the performance of this agreement will not be
released to any source except as required by this agreement
or otherwise authorized by DOR.
B. Grantee/Subgrantee agrees that any information obtained in
the performance of this agreement is confidential and shall
not be published or open to public inspection in any manner,
except as authorized by DOR.
C. Grantee/Subgrantee agrees to maintain the confidentiality of
any information concerning any consumers that the
contractor may obtain in the performance of this agreement
and specifically agrees to comply with the provisions
applicable to such information as set forth in 34 Code of
Federal Regulations, Section 361.38, title 9, California code
of Regulations, Section 7140 et seq., and the Information
Practices Act of 1977 (California Civil Code Section 1798 et
seq.)
D. Grantee/Subgrantee agrees to report any security breach or
information security incident involving DOR consumers’
personal information to the DOR’s Contract Administrator
and the DOR’s Information Security Officer. The DOR’s
Information Security Officer can be contacted via e-mail at
isoinfo@dor.ca.gov.
E. Security breaches or information security incidents that shall
be reported include, but are not limited to:
1. Inappropriate use or unauthorized disclosure of DOR
consumers’ personal information by the
Grantee/Subgrantee or the Grantee's/Subgrantee's
assignees. Disclosure methods include, but are not
limited to, electronic, paper, and verbal.
2. Unauthorized access to DOR consumers’ personal
information. Information can be held in medium that
includes, but is not limited to, electronic and paper.
3. Loss or theft of information technology (IT) equipment,
electronic devices/media, paper media, or data containing
DOR consumers’ personal information. IT equipment and
electronic devices/media include, but are not limited to,
computers (e.g., laptop and desktop, netbooks, tablets),
smartphones, cell phones, CDs, DVDs, USB flash drives,
servers, printers, peripherals, assistive technology
devices (e.g., notetakers, videophones), and copiers.
Data can be held in medium that includes, but is not
limited to, electronic and paper.
F. Grantee/Subgrantee agrees to provide annual security and privacy
training for all individuals who have access to personal,
confidential, or sensitive information relating to the performance of
this agreement.
G. Grantee/Subgrantee agrees to obtain and maintain
acknowledgements from all individuals to evidence their
understanding of the consequences of violating California privacy
laws and the contractor’s information privacy and security policies.
H. For grantee/subgrantee that do not have a security program that
includes annual security and privacy training, a self-training
manual is available on the DOR website under the “Providers” tab
in the “Becoming a Service Provider" section under “Annual
Security and Privacy Training for VR Service Providers.” The selftraining manual is named “Protecting Privacy in State
Government” and can be downloaded at the following link:
http://www.dor.ca.gov/eps/privacytraining.htm.
I. Additional training and awareness tools are available at the
California Office of Information Security (OIS) website and the
California Office of Privacy Protection (COPP) website. The
COPP created the self-training manual, “Protecting Privacy in
State Government” that DOR revised to meet its business needs.
6. Contract Amendments
A contract amendment between the DOR and the Grantees is
required when:
 Both parties agree a significant change in the scope of work is
necessary to accomplish the goals and objectives of the
contract,
 Adding and deleting a major budget category,
 Decreasing/Increasing the total annual budget award or the
total agreement award for all budget years,
 The name of the Grantee changes,
7. Contract Budget Revisions
The Grantee may change budget allocations in the contract requiring
an amendment by obtaining prior approval to revise the budget.
These changes must not affect the overall scope of the contract or its
objectives and outcomes. A budget revision is required when:
 Expenses exceed the total budgeted amount in a category and
funds must be shifted between existing budget categories,
 Adding a new line item to a budget category,
 Changing in the time base of a personnel position (hours
worked and/or percentage of time charged to the grant), or to
change the job title or job description of a personnel position,
8. False Claim Act
Grantee/Subgrantee agrees that it shall promptly notify the State
and refer to an appropriate federal inspector general any credible
evidence that a principal, employee, agent, subcontractor or
other person has committed a false claim under the False Claim
Act or has committed a criminal or civil violation of laws
pertaining to fraud, conflict of interest, bribery, gratuity, or similar
misconduct involving this contract/grant agreement.
9. Fraud Awareness Training
The Grantee/Subgrantee has their employees or any individuals
performing activities related to this contract shall review the
"Fraud Awareness Overview" no later than 30 days upon
contract award. The Fraud Awareness Overview maybe viewed
at the following internet site: www.dor.ca.gov/piblic/grants.html
10. Debarment, Suspension,. Ineligibility and voluntary exclusion
Federal and State agencies shall not award assistance to
applicants that are debarred or suspended, or otherwise
excluded from or ineligible for participation in Federal
assistance programs under Executive Order 12549. By
signing this Agreement, Contractor certifies that neither it nor its
principals or subcontractors are presently debarred,
suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from participation in this transaction by any
Federal department of agency.